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WHO SHOULD WATCH
  • Frontline Staff 
  • Compliance Team
COMPLEXITY
  • Intermediate.
DURATION
  • 47 minutes

Red Flags - Financial Advice Providers.

Course overview.
Do you provide financial advice? Learn what behaviours, activities, and transactions you should be on the lookout for as they could indicate that money laundering or terrorism financing is occurring.
LEARNING OUTCOMES
  • Reluctance to undertake CDD.
  • Fraudulent identity documents.
  • Inconsistent information.
  • No geographical connection.
  • Complex structure.
  • Acting on behalf of someone else.
  • Unexplained wealth.
  • Drastic change in risk profile.
  • High risk industries.
  • High risk jurisdictions.
  • High net worth individuals.
  • Sanctioned customers.
  • Gatekeepers.
  • Nominees.
  • Cash deposits.
  • Money in tax havens.
  • Accounts in children or spouse's name.
  • Indifferent to losses.
  •  Unexplained wealth or investment.
  •  Cybercrime.
  • Structuring.
  • Smurfing.
  • Money to third parties.
  • Financial abuse.
  • Fraudulent withdrawals.
  • Refund.
  • Large contribution before retirement.
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